About us

Cost Effective Compliance Solutions for Financial Firms

ComplianceWorks was born in 2007 out of the need for small-to-medium sized investment advisers and broker-dealers to have access to professional compliance help without breaking the budget.  Typically, principals of firms are busy trying to grow the business and discover that keeping abreast of compliance regulations and staying on top of their resulting obligations doesn’t increase cash flow and they fall dangerously by the wayside.

While many firms are all about technological and canned solutions, ComplianceWorks is hands-on. Our consultants roll up their sleeves to help complete compliance tasks rather than just telling you what needs to be done. All of our consultants have learned compliance in real-time business environments, on the job as CCOs and high-ranking compliance professionals, and understand where compliance fits in the bigger business picture.


CWI's mission is to provide affordable outsourced compliance services to small and medium sized financial services firms in order to alleviate the opportunity cost paid by firms when they devote in-house resources to compliance programs.  In today's highly regulated environment, firms need to be enabled to implement programs that manage regulatory changes and evolving risks.  CWI takes responsibility for all, or a portion, of firms' compliance programs and even monitors areas not assigned to CWI.  We identify where CWI can bring the highest value and operational efficiency by assessing what to outsource versus what to maintain in-house.  You receive an ongoing program that meets your budget.

Our team of compliance experts assist organizations in understanding regulations relevant to their business and keeping abreast of important changes. We stay up-to-date on regulatory events so you are empowered to make necessary changes quickly and effectively.  No matter the size or scale of your business, we can establish and provide ongoing maintenance of a corporate compliance program and effectively manage risk.  We alleviate the opportunity cost paid when human resources are devoted away from value-building tasks - raising assets, attracting clients and managing portfolios.